Senior Compliance Risk Manager
7 days ago
We are seeking an experienced Senior Compliance Risk Manager to join our team at LevelUP HCS. In this role, you will be responsible for planning and executing substantive testing to evaluate the effectiveness of internal controls.
The ideal candidate will have a strong understanding of complex financial regulations and legal issues, as well as excellent organizational, analytical, and communication skills (both written and verbal).
This is a salaried position with a competitive estimated salary range of $110,000 - $140,000 per year, based on experience and qualifications. The salary is commensurate with industry standards for similar positions in the United States.
Key Responsibilities:
- Maintain and enhance the Compliance Monitoring Program (CMP) policies, procedures, and protocols to ensure adherence to regulatory rules, regulations, and best practices.
- Prepare detailed workpapers to support the results of reviews.
- Collaborate with key internal teams, including Risk & Governance and Internal Audit, to ensure alignment and efficiency within the program.
- Develop and/or enhance CMP management reporting, providing regular updates to Senior Compliance Officers or Oversight Committees.
- Execute CMP testing in coordination with relevant business lines and Internal Audit, ensuring deadlines are met and results are actionable.
- Lead coordination of CMP efforts across Compliance Officers, ensuring the program is well-understood, running smoothly, and all components are working together.
- Manage key CMP projects and initiatives, ensuring successful implementation.
- Provide guidance on core and regulatory compliance issues as needed.
- Support Compliance management in firm-wide projects and initiatives.
- Work with Compliance leadership to identify new regulatory requirements and adjust testing plans or policies accordingly.
- Oversee the management of all policies and procedures housed on the PolicyTech portal.
- Lead the annual policies and procedures review process.
- Assist with administrative tasks for the Compliance team, including scheduling meetings and liaising with other departments such as Risk, Legal, and Controllers.
Qualifications:
- Bachelor's degree or equivalent work experience required; JD preferred.
- 10+ years of relevant work experience in compliance or regulatory roles.
- Prior experience in a large financial organization is strongly preferred.
- Excellent organizational, analytical, and communication skills (both written and verbal).
- Proficiency in Excel and SharePoint.
- In-depth knowledge of the securities industry and current regulatory requirements.
- Ability to execute complex tasks and provide strategic analysis.
- Strong interpersonal skills, with the ability to work effectively with senior business managers.
- Experience with process automation and workflow management is a plus.
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